Strategic Staffing Solutions
Title: Independent Risk Management – Compliance Specialist
Location: Saint Louis, MO (on-site)
Duration: 6+ Months – Potential to extend/Convert to Permanent Status
Type: W-2 Contract
- 2+ years of Compliance in a Financial Industry experience, or equivalent
- 2+ years of Risk Management experience
- 2+ years of Auditing experience
- Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.
- Oversee the Front Line’s execution and challenges appropriately on compliance related decisions.
- Support the oversight or monitoring of a risk-based compliance program.
- Provide support in developing and overseeing standards with some business and functional knowledge.
- Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area. Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters.
- Support the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
- Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
- Provide support in reporting findings and drafting recommendations to management.
- Support and implement initiatives with low to moderate risk. Interact with team to support risk oversight and monitoring.
- Manage and ensure accuracy of data.
- Troubleshoot system issues to determine root cause.
- Research and implement new regulatory rules and manage other Registration Team related projects.
- Identify and recommend opportunities for process improvement and risk control development.
- Establish and maintain effective relationships with various teams.
- Make decisions and resolve issues to meet business objectives. Interpret policies, procedures, and compliance requirements.
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
- Interact with internal customers.
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.
Job ID: JOB-231126
Publish Date: 13 Sep 2023